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- Tasks: Monitor compliance and manage confidential information flow in a dynamic financial environment.
- Company: Join Goldman Sachs, a leading global investment banking firm.
- Benefits: Competitive salary, diverse team, and opportunities for professional growth.
- Other info: Fast-paced environment with potential for career advancement and learning.
- Why this job: Be part of a crucial team ensuring compliance and integrity in finance.
- Qualifications: 4+ years in compliance, strong understanding of financial regulations, and teamwork skills.
The predicted salary is between 50000 - 60000 £ per year.
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defence, we assess the firm's compliance, regulatory and reputational risk; monitor for compliance with new or amended laws, rules and regulations; design and implement controls, policies, procedures and training; conduct independent testing; investigate, surveil and monitor for compliance risks and breaches; and lead the firm's responses to regulatory examinations, audits and inquiries.
The Control Room, part of Global Compliance, is seeking a compliance officer for a role in Birmingham. The Control Room is primarily responsible for preserving the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between the Firm's private/advisory side businesses and public side businesses. It also stays close to banking transactions to ensure that all legal and policy restrictions are activated in a timely manner, and advises the business areas involved in trading and research on the applicability of those restrictions.
Principal Responsibilities- Interacting with the Global Banking & Markets and Asset Wealth Management Divisions to maintain the Firm's Confidential Lists.
- Reviewing research published by Global Investment Research to ensure compliance with certain legal and regulatory obligations.
- Liaising with Legal and other areas of Compliance to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations.
- Applying the Research Settlement rules to facilitate communications between Equity Research and Global Banking & Markets Private personnel.
- Managing the Firm's bespoke Materiality Checking process, working with the Conflicts Resolution Group, to facilitate approval for certain Firm and client transactions and subsequent risk management activities.
- College or university graduate with 4+ years of compliance experience in financial services, preferably with control room and/or private side compliance.
- Strong understanding of Investment Banking & Securities business and products.
- Strong understanding of the current regulatory environment and financial markets and/or securities regulation and rules.
- Proficient in using Microsoft Office products, tools, and utilities for business use.
- Excellent verbal and written communication skills.
- Ability to work as a member of a team in a high‐pressure, fast‐paced environment.
- Ability to work with automation and analytics tools (Alteryx, Tableau, Databases).
- Passed CFA Level 1 or higher is an added advantage.
- Knowledge of US Securities laws including SEC Reg M, SEC Rules 14e‐5, 144A and Reg D, etc.
Compliance, Control Room, Associate, Birmingham in West Bromwich employer: Goldman Sachs
Contact Detail:
Goldman Sachs Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance, Control Room, Associate, Birmingham in West Bromwich
✨Tip Number 1
Network like a pro! Reach out to people in the compliance field, especially those working in control rooms. A friendly chat can lead to insider info about job openings and even referrals.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of current regulations and compliance practices. We want you to show off your understanding of the regulatory landscape and how it impacts the firm.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation. It keeps you fresh in their minds and shows your enthusiasm for the role.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing candidates who take the initiative to engage directly with us.
We think you need these skills to ace Compliance, Control Room, Associate, Birmingham in West Bromwich
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the role. Highlight your compliance experience and any relevant skills that match the job description. We want to see how your background fits with our team!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to our Control Room. Keep it concise but impactful!
Showcase Your Skills: Don’t forget to mention your proficiency in Microsoft Office and any automation tools you've used. We love candidates who can bring tech-savvy skills to the table, so let us know what you've got!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Goldman Sachs
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially those relevant to the financial services sector. Familiarise yourself with key terms and concepts like SEC Reg M and the Research Settlement rules, as these will likely come up during your interview.
✨Showcase Your Team Spirit
Since this role involves working closely with various teams, be prepared to discuss your experience in collaborative environments. Share examples of how you've successfully worked with others under pressure, highlighting your ability to adapt and communicate effectively.
✨Demonstrate Your Analytical Skills
If you have experience with automation and analytics tools like Alteryx or Tableau, make sure to mention it! Be ready to explain how you've used these tools to enhance compliance processes or manage risks in previous roles.
✨Ask Smart Questions
Prepare thoughtful questions about the firm's compliance culture and how they handle regulatory changes. This shows your genuine interest in the role and helps you assess if the company aligns with your values and career goals.